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LM

Laurel M. Mathews

Some features on this profile are disabled
CRD#: 1598331
LM

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Laurel Marie Mathews was a registered financial professional .

Laurel is a previously registered financial professional and started their career in finance in 1987. Laurel had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1)Round Rock Advisors-Investment related-187 Danbury Road, Suite 201, Wilton CT 06897-Investments-Partner-4/2017-120 hrs/mth-100% during trading hrs-Financial advisors 2)PKS Financial-Investment related-80 State St, Albany, NY 12207-Insurance sales-Agent-4/2017-10 hrs/mth-100% during trading hrs-Selling insurance and fixed business.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 21, 2017 - November 6, 2023

ROUND ROCK ADVISORS LLC

RIA
CRD#: 286007
WILTON, CT
Past

April 21, 2017 - April 1, 2022

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
Winton, CT
Past

September 19, 2016 - April 24, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
NEW CANAAN, CT
Past

October 27, 1999 - July 3, 2006

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

March 24, 1987 - April 24, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
NEW CANAAN, CT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RR
ROUND ROCK ADVISORS LLC
ARMSTRONG SHAW | THOMSON, HORSTMANN & BRYANT ASSET MANAGEMENT | RR ADVISORS LLC | ROUND ROCK ADVISORS LLC

CRD#: 286007 / SEC#: 801-108989

RIA
Registered Investment Advisory firm - (1/23/2017 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/29/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/21/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/5/2000
General Securities Principal Examination

Current Firm

RR
ROUND ROCK ADVISORS LLC
ARMSTRONG SHAW | THOMSON, HORSTMANN & BRYANT ASSET MANAGEMENT | RR ADVISORS LLC | ROUND ROCK ADVISORS LLC

CRD#: 286007 / SEC#: 801-108989

RIA
Registered Investment Advisory firm - (1/23/2017 Approved)
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Contact information

Main Address
187 Danbury Road Suite 201, Wilton, CT 06897
Mailing Address
Phone number
(203) 920-4774
Established
Firm type
Fiscal year end
# of Employees
24

SEC notice filing (17 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ROUND ROCK ADVISORS DISCLOSURE BROCHURE (9/18/2025)

Regulatory assets under management

Total Number of Accounts2,126
AUM (Assets Under Management)$ 814,558,622

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

ROUND ROCK ADVISORS LLC

CRD#: 286007

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